Peter R. Arnold
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Ryley Arnold was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 2007. Peter had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2015 - December 23, 2016
HCFP/CAPITAL MARKETS LLC
May 16, 2013 - April 8, 2015
AURIGA USA, LLC
June 28, 2011 - December 31, 2012
WELBORN CAPITAL LLC
July 27, 2007 - June 26, 2009
BDR RESEARCH LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HCFP/CAPITAL MARKETS LLC
CRD#: 149111 / SEC#: , 8-68107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KATZ, MARIE | FINANCIAL AND OPERATIONS PRINCIPAL AND CCO | 2457660 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
